Article(id=1146098718886957783, tenantId=1146029695717560320, journalId=1146031591421210625, issueId=1146500020980781796, articleNumber=null, orderNo=27, doi=10.3981/j.issn.1000-7857.2024.10.01509, pmid=null, cstr=null, oa=null, hot=null, price=null, onlineType=0, articleFormat=0, articleType=null, articleTypeStr=research-article, receivedDate=1730304000000, receivedDateStr=2024-10-31, revisedDate=1735228800000, revisedDateStr=2024-12-27, acceptedDate=null, acceptedDateStr=null, onlineDate=1751180828040, onlineDateStr=2025-06-29, pubDate=1741795200000, pubDateStr=2025-03-13, doiRegisterDate=null, doiRegisterDateStr=null, onlineIssueDate=1744300800000, onlineIssueDateStr=2025-04-11, onlineJustAcceptDate=null, onlineJustAcceptDateStr=null, onlineFirstDate=1751180828040, onlineFirstDateStr=2025-06-29, sourceXml=null, magXml=null, createTime=1751180828040, creator=18627231156, updateTime=1774079528942, updator=sys-migrate, issue=Issue{id=1146500020980781796, tenantId=1146029695717560320, journalId=1146031591421210625, year='2025', volume='43', issue='5', pageStart='1', pageEnd='124', issueExtLink='null', onlineDate='null', pubDate='1741795200000', pubDateStr='2025-03-13', beforeIssueId=null, nextIssueId=null, price=null, status=1, issueComplete=1, articleOrder=1, issueType=-1, specialIssue=0, createTime=1751276505912, creator='13701087609', updateTime=1774330969219, updator='13041195026', preIssue=null, nextIssue=null, articleTotal=null, ext={EN=IssueExt(id=1243197448571695793, tenantId=1146029695717560320, journalId=1146031591421210625, issueId=1146500020980781796, language=EN, specialIssueTitle=, coverIllustrator=, specialIssueEditor=, specialIssueAbout=), CN=IssueExt(id=1243197448571695794, tenantId=1146029695717560320, journalId=1146031591421210625, issueId=1146500020980781796, language=CN, specialIssueTitle=, coverIllustrator=, specialIssueEditor=, specialIssueAbout=)}, issueFiles=null, downloadFileDto=null}, startPage=117, endPage=120, ext={EN=ArticleExt(id=1146098720468210426, articleId=1146098718886957783, tenantId=1146029695717560320, journalId=1146031591421210625, language=EN, title=Comparison of artificial intelligence governance models between the European Union and the United Sates and policy implications for China, columnId=1150494643415773491, journalTitle=Science & Technology Review, columnName=Policy Forum, runingTitle=null, highlight=null, articleAbstract=

Realizing a balance between technological development and security is a major practical issue that global artificial intelligence governance must confront. At present, the most representative models of global artificial intelligence governance are the "rule of law" model guided by ethics first behavior in the European Union and the "soft rules" model guided by technology first behavior in the United States. This paper systematically analyzes the differences between the two models from the perspectives of governance ideology, governance subject, governance system and governance strategy, and proposes policy implications for optimizing China's AI governance path based on this.

, authors=null, authorsList=Peng SHEN, Jin GONG, Chen GONG, authorCompany=null, correspAuthors=Jin GONG, authorNote=null, correspAuthorsNote=null, copyrightStatement=All rights reserved. Unauthorized reproduction is prohibited., copyrightOwner=null, extLink=null, articleAbsUrl=null, sourceXml=null, magXml=null, pdfUrl=null, pdf=null, pdfFileSize=null, pdfExtLink=null, richHtmlUrl=null, mobilePdfUrl=null, reviewReport=null, pdfFirstPage=null, abstractGraph=null, abstractGraphContent=null, abstractVideo=null, citation=null, cebUrl=null, magXmlContent=null, mapNumber=null, fund=null), CN=ArticleExt(id=1146098721944605462, articleId=1146098718886957783, tenantId=1146029695717560320, journalId=1146031591421210625, language=CN, title=欧盟与美国的人工智能治理模式比较与对中国的政策启示, columnId=1150494643549991220, journalTitle=科技导报, columnName=政策建议, runingTitle=null, highlight=null, articleAbstract=

实现技术发展与安全的平衡,是当前全球人工智能治理必须直面的重大现实问题。目前全球人工智能治理最具代表性的是,欧盟以伦理先行为导向的“硬法治”模式和美国以技术先行为导向的“软规则”模式。从治理思想、治理主体、治理体系和治理策略系统分析了2种模式的区别,并基于此提出了优化我国人工智能治理路径的政策启示:在治理思想上,应坚持伦理治理和鼓励创新并重;在治理机制上,建立分级分类风险治理机制,实行精细化监管;在治理体系上,构建多层次全方位的人工智能治理体系;在治理主体上,注重发挥企业和行业自治力量;在治理合作机制上,积极参与多边治理交流合作,提高中国在人工智能全球治理的影响力和话语权。

, authors=

沈鹏,博士,研究方向为数字经济、人工智能,电子信箱:

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龚谨(通信作者),副研究员,研究方向为数字经济、科技政策,电子信箱:
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欧盟与美国的人工智能治理模式比较与对中国的政策启示
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沈鹏 1, 2 , 龚谨 2, 3, * , 龚晨 2
科技导报 | 政策建议 2025,43(5): 117-120
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科技导报 |政策建议 2025 , 43 (5) : 117 -120
欧盟与美国的人工智能治理模式比较与对中国的政策启示
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沈鹏1, 2 , 龚谨2, 3, * , 龚晨2
作者信息
  • 1. 香港大学经济及工商管理学院, 香港 999077
  • 2. 水滴研究院, 北京 100102
  • 3. 复旦大学管理学院, 上海 200433
通讯作者:
龚谨(通信作者),副研究员,研究方向为数字经济、科技政策,电子信箱:
Comparison of artificial intelligence governance models between the European Union and the United Sates and policy implications for China
Peng SHEN1, 2 , Jin GONG2, 3, * , Chen GONG2
Affiliations
  • 1. Faculty of Business and Economics, The University of Hong Kong, Hong kong 999077, China
  • 2. Waterdrop Research Institute, Beijing 100102, China
  • 3. School of Management, Fudan University, Shanghai 200433, China
出版时间: 2025-03-13 doi: 10.3981/j.issn.1000-7857.2024.10.01509
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实现技术发展与安全的平衡,是当前全球人工智能治理必须直面的重大现实问题。目前全球人工智能治理最具代表性的是,欧盟以伦理先行为导向的“硬法治”模式和美国以技术先行为导向的“软规则”模式。从治理思想、治理主体、治理体系和治理策略系统分析了2种模式的区别,并基于此提出了优化我国人工智能治理路径的政策启示:在治理思想上,应坚持伦理治理和鼓励创新并重;在治理机制上,建立分级分类风险治理机制,实行精细化监管;在治理体系上,构建多层次全方位的人工智能治理体系;在治理主体上,注重发挥企业和行业自治力量;在治理合作机制上,积极参与多边治理交流合作,提高中国在人工智能全球治理的影响力和话语权。

人工智能  /  伦理治理  /  监管模式  /  监管困境

Realizing a balance between technological development and security is a major practical issue that global artificial intelligence governance must confront. At present, the most representative models of global artificial intelligence governance are the "rule of law" model guided by ethics first behavior in the European Union and the "soft rules" model guided by technology first behavior in the United States. This paper systematically analyzes the differences between the two models from the perspectives of governance ideology, governance subject, governance system and governance strategy, and proposes policy implications for optimizing China's AI governance path based on this.

artificial intelligence  /  ethical governance  /  regulatory mode  /  regulatory dilemma
沈鹏, 龚谨, 龚晨. 欧盟与美国的人工智能治理模式比较与对中国的政策启示. 科技导报, 2025 , 43 (5) : 117 -120 . DOI: 10.3981/j.issn.1000-7857.2024.10.01509
Peng SHEN, Jin GONG, Chen GONG. Comparison of artificial intelligence governance models between the European Union and the United Sates and policy implications for China[J]. Science & Technology Review, 2025 , 43 (5) : 117 -120 . DOI: 10.3981/j.issn.1000-7857.2024.10.01509
人工智能作为新一轮科技革命的标志性技术,不断渗透进社会生产生活的各个方面,成为推动科技创新、促进经济社会发展和改善民生福祉的重要力量。然而,随着人工智能技术的不断创新,技术应用范围遍及公域和私域[1],对监管实践带来不小的挑战:一是各国关于人工智能治理的基本概念和价值取向存在分歧,影响了人工智能的监管范围和力度;二是算法歧视和偏见问题突出、监管适应性要求日益加剧、AI对就业等社会稳定安全的冲击风险不断显现;三是各国人工智能监管的碎片化和不平衡,加剧了伦理治理跨国合作的难度。如何在鼓励创新和规范发展中找到一条人工智能治理的有效路径,既是摆在各国政府、行业组织和学术界面前的政策难题,更是实现人工智能历史使命进程中必须跨越的“陷阱”。
人工智能治理的国际经验研究一直是研究热点。国内有研究人员重点分析了欧盟、美国、日本等在人工智能监管模式、监管领域和内在逻辑等方面的差异[24],还有研究人员对大数据和生成式人工智能治理的风险进行了研究[56]。国外学者关于人工智能治理的国际经验研究关注非常少,对伦理治理的研究也较宏观[7]
综合来看,已有研究缺乏从监管理念、监管体系、监管模式和机制等视角全面分析境外主要国家人工智能监管的特点,更缺乏从理论与实践的双重视角吸收境外不同人工智能治理模式的经验教训。本研究通过比较欧盟和美国人工智能监管在理念、体系、模式机制等方面的主要特点和异同,为完善中国人工智能的监管框架提供借鉴和启发。
有研究人员利用数字基础、数字能力、数字应用和数字规制等维度编制了国际数字生态指数,其中在数字规制这一分项中,排在前20位的国家有19个欧洲国家,中国在数字规制指数上排名第33位,美国排名第37位[8],在一定程度上反映了欧盟和美国在数字治理思想和导向上的差异,甚至某种程度上代表了全球人工智能治理的“2条不同道路”。
欧盟在人工智能治理上希望通过建立完善的伦理规则和法律体系来抢占全球人工智能治理的影响力制高点,遮盖其在AI技术创新和应用上的短板。欧盟以数据保护为切入点,2016年通过立法《通用数据保护条例》(GDPR)抬高市场准入标准,将数据保护的欧盟标准外部化,使其他国家遵守或制定与之适配的数据保护标准,从而提升其在全球人工智能领域的影响力和支配力。2019年,欧盟人工智能高级别专家组发布的《可信人工智能道德准则》,进一步强调了伦理治理先行的理念。
美国在人工智能治理上,则与欧盟有着明显不同的理念,特别是由于美国在AI技术、应用和人才方面具有很强的竞争实力,确保其在人工智能技术发展上的绝对领先位置是美国人工智能治理的核心要义。21世纪后,美国对数字经济发展的战略定位不再局限于短期经济增长,而是将其看作引领新一轮技术革命浪潮、抢占全球竞争和技术领导体系的重要突破口,这就使得美国更加关注人工智能领域前沿技术的创新发展。
欧盟以政府为主导的人工智能治理,主要是由政府牵头,行业协会、社会组织、研究机构等通过提交报告、建议以及进行政策测试试验的方式为政府治理提供支持。一方面,由于欧盟坚持“伦理先行”的原则,这一“指挥棒”必然要求一个强有力的主体来主导AI伦理规范的设立和实施,于是以欧盟委员会、欧洲议会和欧洲理事会为主体的机构,从法律和制度层面为欧盟人工智能治理建立了核心的监管框架。另一方面,欧洲缺少人工智能的科技巨头,企业层面也不太愿意建立科技伦理委员会来加强AI伦理治理,他们认为会增加企业内部组织管理的成本和矛盾。
美国以企业为主导的人工智能治理,主要是通过人工智能伦理准则融入企业发展愿景、战略方向和技术创新的管理过程中,将人工智能治理的准则具象化,并将其置于企业公司治理的框架之中。在公司治理层面,微软、谷歌、IBM等大型人工智能企业陆续设立了科技伦理委员会。例如,微软将公平性、可靠性和安全性、隐私权和保密性、包容性、透明度、权责作为人工智能的6大伦理原则,拥有近350人团队专门推动微软内部的人工智能治理工作。
欧盟人工智能治理体系与其政治体制有着密切关系。以GDPR的实施为例,首先,欧盟通过GDPR构建全方位的监管框架,其成员国必须在GDPR框架内制定本国的数据保护条例,可以说GDPR是欧盟成员国的上位法。其次,欧盟从“宏观-中观-微观”构建了一套包括对成员国实施GDPR的监督检查、GDPR在各国的具体实施情况以及企业行业协会为依托开展机构内部数据治理在内的数据保护监管治理体系。
美国人工智能治理体系相对是横向分散的。一方面,联邦政府层面对人工智能治理缺少像欧盟那样的顶层监管机构,而是采用分散治理的方式,这也是由于美国各州拥有相对独立的立法权和司法权。例如数据保护法律方面,加州和内华达州等地都设立了自己的数字保护法。另一方面,联邦政府对人工智能监管涉及多个部门和机构的协同配合,相对也是分散的。人工智能技术风险和应用的监管涉及白宫科技政策办公室、商务部、联邦贸易委员会、消费者金融保护局、司法部等多个部门。
欧盟基于政府主导的治理模式主要依靠法律来规范市场主体的行为,因而具有明显的强制约束力。2024年7月,欧盟正式公布了《欧盟人工智能法案》,是欧盟第一部人工智能法律[910]。该法案将人工智能的风险分为不可接受风险、高风险、有限风险和最小风险,基于不同等级风险采取不同的监管要求,实施风险分级是欧盟人工智能法案的立法重点和创新之处。法案全面实施后,若某一主体违反相关规定或者无视其义务,最高将面临3500万欧元或全球年营业额的7%(以较高者为准)的罚款。可以看出,欧盟基于法律框架下的人工智能监管越来越严格。
美国人工智能监管更多强调行业协会、企业等市场主体参与的自治,这种自治对整个行业的约束缺乏强制影响力,且自治是为了避免人工智能的过度监管而遏制其技术创新领先的进程。2023年5月,美国政府召开负责任人工智能创新见面会,微软、谷歌等人工智能巨头的创始人参加,倡导与会企业为行业发展做出表率。美国企业也十分乐意参与人工智能治理建设,如OpenAI的CEO就曾公开呼吁要加强对人工智能的监管。美国联邦政府的治理思路就是在与公众、企业和行业的持续沟通中,实现人工智能商业利益和社会公众利益的再平衡。
如何摆脱人工智能技术发展进程中的“科林格里奇困境”,实现国家安全、国际规则和人权保护三者间的动态平衡,各国政府正在实践中不断寻找符合自身特点的解决方案。中国实现安全与发展的平衡,需要充分吸收借鉴其他国家人工智能治理的经验教训。
正如联合国《治理AI造福人类:中期报告》[11]中提到的,AI治理应是引导好的与控制坏的并举。一方面,不能因强调风险管控而照搬欧盟对AI产业的强约束模式,进而贻误AI产业发展的重要战略机遇;另一方面,也不能因一味追崇技术至上而忽视AI产业创新应用带来的各类复杂风险。当前,中国人工智能产业的治理导向应是,既要防范应对AI发展对伦理道德规范的负面冲击,也要加快高科技创新突破并在全球新一轮科技革命中占领制高点,实现安全与发展的平衡。这一平衡既符合中国应对当前国际科技竞争的利益选择,也体现了中国监管者历来对创新事物“包容与审慎”相结合的监管态度。
借鉴《欧盟人工智能法案》的经验,可根据人工智能风险的大小和影响范围来确定具体监管规则,建立人工智能系统风险的分级分类清单,实施敏捷治理。对于伦理风险较小或者没有伦理风险的人工智能技术和应用,应采取简易程序,鼓励和支持技术创新;对于具有一定伦理风险的人工智能技术和应用,明确伦理责任和要求,动态评估其风险影响范围;对于具有较大伦理风险且影响周期较长的人工智能技术和应用,要加大监管力度,完善监管技术手段,将伦理风险的影响控制到最小范围;对于不可接受的伦理风险的人工智能技术和应用,应明确予以禁止。
在治理体系方面,纵向上,应建立由中央到地方的双层监管体制,中央层面制定出台人工智能治理的总体要求和法律,明确人工智能技术创新和应用的义务性规范和禁止性规范。各地应在中央统一的监管框架下,负责人工智能治理的具体实施工作,同时被赋予一定的自由裁量权,如对部分创新性技术和商业应用采取“监管沙盒”制度,从而有利于营造促进技术创新的宽松环境。横向上,应明确人工智能监管的主责机构,建议成立人工智能治理跨部门协调小组,负责制定统一的战略规划和政策框架,明确各部门在人工智能治理中的职责和分工,避免职能交叉和责任推诿。每季度定期召开跨部门联席会议,共商人工智能治理的重大问题。打破数据壁垒,建立统一的人工智能治理信息共享平台,为跨部门治理提供数据支撑。共同制定人工智能治理的评估指标体系和办法,对治理成效进行跟踪评估。
在产业政策方面,应明确人工智能产业政策的目标、作用和定位,围绕国家战略和“卡脖子”关键技术领域,选择技术外溢效应强、创新驱动作用明显、规模效益显著的优势产业,对这些重点产业实施差异化的支持政策,建立财政补贴、税收优惠、金融扶持和技术引导等系统性的政策支持体系。同时,需要注意避免产业支持政策对市场的扭曲。
充分借鉴美国企业参与人工智能治理的自治经验。一是鼓励人工智能领域的企业建立伦理委员会,并将人工智能治理内嵌到公司治理架构中,将相关治理理念落实到企业日常经营管理、业务流程和组织管理的具体实践中,实现人工智能治理在企业层面的具象化。如,商汤科技作为国内人工智能的龙头企业之一,创新性地提出“可持续发展、以人为本、技术可控”的AI治理观,并建立了覆盖从项目审批、产品服务上线、运营监控,到产品及解决方案迭代等各个环节的全生命周期伦理审查程序。二是加强各类人工智能行业组织和协会建设,尤其是在伦理操作指南、技术标准、风险管理要求、应用导向等方面发挥行业自律的作用,通过行业协会的推广和倡导,努力形成全行业共同遵守的治理原则和要求。三是强化企业与监管者的常态化沟通机制,通过定期沟通交流便于监管部门了解人工智能技术创新和应用的实际困难和潜在风险,从而提高监管的针对性和实效性。
将自身的人工智能治理标准融入全球人工智能治理体系中,是各国尤其是大国展现数字竞争力的重要方式。然而,在当前国际竞争加剧和逆全球化的背景下,一些发达国家不断谋求建立排他性的多边治理框架,导致人工智能治理全球框架有可能向着有利于发达国家的方向发展。对此,一是要始终坚持开放心态,面对不利外部环境积极争取对话和合作,寻找合作的最大公约数,全面融入全球治理体系的建设中。二是依托中国经贸领域的多边合作框架(如“一带一路”倡议),将中国人工智能治理的标准和制度推广到相关国家和地区。努力对外发声,强化治理理念的共识与认同,为全球人工智能治理贡献中国智慧,不断提升中国人工智能治理的影响力。三是应充分发挥人工智能国际组织的作用,通过鼓励国内学者和企业在国际组织中任职、论坛交流等方式,参与国际人工智能治理交流合作[12],提升中国在全球人工智能治理中的话语权。

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doi: 10.3981/j.issn.1000-7857.2024.10.01509
  • 接收时间:2024-10-31
  • 首发时间:2025-06-29
  • 出版时间:2025-03-13
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  • 收稿日期:2024-10-31
  • 修回日期:2024-12-27
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    1. 香港大学经济及工商管理学院, 香港 999077
    2. 水滴研究院, 北京 100102
    3. 复旦大学管理学院, 上海 200433

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龚谨(通信作者),副研究员,研究方向为数字经济、科技政策,电子信箱:
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2种不同金属材料的力学参数

Family
属数
Number of
genus
种数
Number of
species
占总种数比例
Percentage of
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Genus
种数
Number of
species
占总种数比例
Percentage of total
species (%)
鹅膏菌科Amanitaceae 2 11 5.26 鹅膏菌属 Amanita 10 4.78
小菇科 Mycenaceae 2 12 5.74 丝盖伞属 Inocybe 5 2.39
多孔菌科 Polyporaceae 8 14 6.70 蜡蘑属 Laccaria 5 2.39
红菇科 Russulaceae 3 23 11.00 小皮伞属 Marasmius 6 2.87
小菇属 Mycena 11 5.26
光柄菇属 Pluteus 5 2.39
红菇属 Russula 17 8.13
栓菌属 Trametes 5 2.39
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